Benjamin D. Carter

MOONEY FINANCIAL

JACKSONVILLE BEACH, FL 32250

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CRD#: 6531633

Professional summary

Benjamin D Carter, CFP®, who also goes by Ben D Carter, is a registered financial advisor currently at MOONEY FINANCIAL located in Jacksonville Beach, Florida.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Benjamin has worked at 2 firms and has passed the Series 63, Series 7, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben D Carter

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. EMPLOYEE, FARMER COMPANIES, 60 LAKE STREET, BURLINGTON, , VERMONT, 05401, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 1/3/2020, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, OPERATIONS, STRATEGY, MARKETING, HELP WITH DISTRIBUTION 2. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin D Carter's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

November 22, 2024 - Present

MOONEY FINANCIAL

Office #1: 320 1st Street N #705, Jacksonville Beach, FL 32250

RIA

CRD#: 332904

JACKSONVILLE BEACH, FL

Past

September 13, 2016 - December 11, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Jacksonville Beach, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(11/22/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/28/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/2/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/12/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MOONEY FINANCIAL

MOONEY FINANCIAL | MOONEY FINANCIAL, LLC

CRD#: 332904 / SEC#:

Florida

Registered Investment Advisory firm - (11/22/2024 Approved)

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Contact information

Main Address

320 1st Street N #705, Jacksonville Beach, FL 32250

Mailing Address

Phone number

(904) 359-8469

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	140
AUM (Assets Under Management)	$ 77,997,229

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Benjamin D. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin D Carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

MOONEY FINANCIAL

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/28/2016

Series 7

Date: 10/2/2018

SIE

Date: 10/1/2018

Series 6

Date: 9/12/2016

Current Firm

MOONEY FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MOONEY FINANCIAL

TRUST BUT VERIFY

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